Alyssa Albertelli has served as the deputy general counsel for State Street Global Advisors (SSGA) since February 2018. She joined SSGA in March 2012 as a senior vice president and chief legal officer for SSGA Funds Management and has served as SSGA’s chief compliance officer (CCO) since October 2012, responsible for fostering a culture within SSGA that recognizes compliance as an integral part of the business environment. She was also responsible for assessing and providing advice regarding the impact of changes in regulations and business operations, developing policies and procedures designed to meet SSGA’s regulatory obligations and industry best practices, cultivating positive working relationships with regulatory agencies, and supporting SSGA in the execution of its strategic goals and initiatives. She leads a global team of approximately 135 compliance professionals involved in assessing regulatory risk, implementing policies designed to mitigate that risk, and performing monitoring to ensure SSGA is meeting its regulatory requirements. Before joining SSGA, she was a partner at Ropes & Gray and a member of the investment management practice for 15 years. Albertelli also spent two years as an associate in the investment management group at K&L Gates. She earned her JD from Boston University School of Law, cum laude; her MBA from Boston University School of Management; and her BA in economics and finance from Simmons College.
Kathleen T. Barr
Kathleen T. Barr is an independent director of William Blair Funds and serves as chair of its Compliance Committee. Before becoming an independent director, she was president and chief operating officer for Productive Capital Management, a registered investment adviser serving public entities. Previously, she had been chief administrative officer and chief compliance officer (CCO) for PNC Funds and PNC Advantage Funds and predecessor funds; her responsibilities included compliance, financial and regulatory administration, operations, and risk management. Before becoming CCO, Barr was also responsible for distribution, marketing, and product. She served as chief administrative officer for Allegiant Asset Management, where her additional duties included risk management and compliance for the firm. Barr has in-depth experience, having spent 25 years of her career in investment sales and sales management and having held numerous FINRA licenses. She received a BBA from the University of Pittsburgh.
Gregory Barton has served as chief legal officer (CLO) of WisdomTree Investments since January 2018, and before that served as chief operating officer of WisdomTree from October 2012. Before joining WisdomTree, Barton served for 17 years as CLO and held other C-suite positions at companies in the media and technology industries. He started his career as an attorney at the law firm of Gibson, Dunn & Crutcher. Barton has served as an independent trustee on a number of investment company boards, including the WisdomTree Trust, where he was chairman of the Audit Committee for six years before joining WisdomTree Investments; the GLG Investment Series Trust; and the Man Long Short Fund. He also served as an independent director of Alliance Semiconductor Corporation. Barton received a BA, summa cum laude, from Claremont McKenna College and a JD, magna cum laude, from Harvard Law School.
Stephanie M. Beran
Stephanie M. Beran has responsibility for business/operational risk analysis, supporting the Risk Committee of the Board of Directors of Legg Mason and leading and supporting management committees in the risk governance framework. She joined Legg Mason in May 2002. In prior positions she has managed financial, management, and regulatory reporting; financial planning; treasury functions; and executive compensation programs. These positions included business area controller of the private clients and equity capital markets divisions of Deutsche Bank Securities; chief financial officer of Ferris, Baker Watts; and senior manager in KPMG’s investment services practice, where she managed audit engagements of NYSE and NASD member firms and mutual funds and private investment partnerships. Beran earned a BS in economics and business administration, with an accounting concentration, from Towson University, graduating summa cum laude.
Rupal J. Bhansali
Rupal J. Bhansali is chief investment officer and portfolio manager of Ariel’s international and global equity strategies. In this capacity, she oversees Ariel’s New York–based global equities research team and manages multi-billion-dollar portfolios for both institutional and retail clients. Bhansali joined Ariel in 2011 after spending 10 years with MacKay Shields, where she was senior managing director, portfolio manager, and head of international equities. Before that, she spent five years at Oppenheimer Capital, where she managed international and global equity portfolios and was promoted to co-head of international equities. Additionally, Bhansali has held various roles at other financial services firms since she began her career in 1989, including Soros Fund Management. In 2009, Forbes International Investment Report named her a “Global Guru,” and in 2015, Barron’s recognized her as a “Global Contrarian.” Bhansali is a frequent guest on Bloomberg, CNBC, and Fox Business News, among others. She is also a frequent speaker at prestigious industry conferences, including the CFA Institute, Morningstar, and Schwab. Bhansali earned a bachelor of commerce degree in accounting and finance, as well as a master of commerce in international finance and banking from the University of Mumbai. She later earned an MBA in finance from the University of Rochester, where she was a Rotary Foundation Scholar.
Kevin M. Bopp
Kevin M. Bopp serves as the chief compliance officer (CCO) of New York Life Investment Management and the MainStay Funds. He also serves as the CCO of IndexIQ Advisors and the IndexIQ exchange-traded funds. Bopp is responsible for overseeing the compliance programs of the investment advisers and registered funds, including development and administration of policies and procedures, and oversight of service providers. Before becoming CCO, Bopp was an associate general counsel at New York Life Investment Management, responsible for legal matters relating to the MainStay Funds. Before joining New York Life in 2010, Bopp was an associate at Dechert and an assistant general counsel at American International Group. He graduated from New York Law School (JD, cum laude), and St. John’s University (MBA and BA). He is a member of the New York and New Jersey bars.
Adam Broun is the president and chief operating officer at Kensho Technologies, a company that applies machine intelligence to solve the hardest analytical problems for the world’s most sophisticated financial and governmental institutions. Kensho has been named a Technology Pioneer by the World Economic Forum, and as one of the five most innovative fintech companies in the world by Fortune magazine; the company also made the AI 100, which names the most promising private artificial intelligence companies. Before Kensho, Broun served as chief information officer, front office, at Credit Suisse, covering all three revenue-generating divisions–investment banking, private banking, and asset management. Before that, he was global head of IT strategy for Credit Suisse. During that time, Broun was responsible for improving the IT organization, making it more efficient, better aligned with the business strategy, and better positioned for the long-term success of the bank. After graduating from Oxford University with a degree in physics, Broun began his career as one of the first class of technology analysts at Touche Ross, first in London, and then in the United States. Having gained exposure to a number of industries, he focused on financial services, becoming one of the youngest consulting partners at Deloitte. Broun went on to serve clients that included most of the world’s largest financial institutions and several of the largest private equity fund managers. He specialized in the intersection of technology, business strategy, and operations, and led projects that included three of the largest banking mergers in history.
Marty Burns is chief industry operations officer of the Investment Company Institute. He joined ICI in 2006, and as senior director for operations and distribution was responsible for facilitating middle- and back-office initiatives with industry stakeholders, and collaborating with stakeholders to pursue and achieve related regulatory, legislative, and public policy goals. A veteran of the financial services industry with more than three decades of experience working for government, private, and public enterprises, Burns also has managed securities processing and operations, asset securitizations, and banking regulation. He holds an MBA from DePaul University and a BBA from the University of Saint Francis.
Paul G. Cellupica
Paul G. Cellupica has been deputy director of the Division of Investment Management at the US Securities and Exchange Commission since November 2017. From 2014 to 2017, he was managing director and general counsel for securities law at Teachers Insurance and Annuity Association of America (TIAA), where his responsibilities included legal support for the TIAA-CREF fund complex. From 2004 through 2014, he worked in the law department of MetLife in various senior roles, including as chief counsel for the Americas, where he had responsibility for legal support of MetLife’s insurance and financial services businesses in the United States and Latin America. Between 1996 and 2004, Cellupica served at the SEC in a number of capacities in the Division of Investment Management and the Division of Enforcement. From 2001 to 2004, he was assistant director in the Division of Investment Management, where he oversaw rulemaking initiatives related to disclosure provided by mutual funds and variable insurance products. He received the SEC’s Martha Platt Award in 2002 in recognition of his exceptional dedication, professional excellence, and personal integrity, and was a joint recipient of the SEC’s Law and Policy Award in 2003. Before joining the SEC, he practiced at the law firm of Caplin & Drysdale in Washington, DC, where his practice focused on securities and commercial litigation. Cellupica received his BA, magna cum laude, from Harvard College and a JD, cum laude, from Harvard Law School; he was also a law clerk for Judge David Nelson of the US Court of Appeals for the Sixth Circuit. He is admitted to practice in New York and the District of Columbia.
Marie A. Chandoha
Marie A. Chandoha is president and CEO of Charles Schwab Investment Management, the investment advisor to Schwab Funds, Laudus Funds, and Schwab ETFsTM and one of the largest money market and index fund providers in the industry. Chandoha has more than 30 years of investment experience. Before joining Schwab in 2010, she spent three years as the global head of the fixed-income business at BlackRock (formerly Barclays Global Investors). She previously served as co-head and senior portfolio manager in charge of the Montgomery fixed-income division at Wells Capital Management; a senior bond strategist at Goldman Sachs; and managing director responsible for the global fixed-income research and economics department at Credit Suisse First Boston. Earlier in her career, Chandoha held research positions at Morgan Stanley and the Federal Reserve Bank of New York. She earned a BA in economics from Harvard University. Chandoha serves on ICI’s Executive Committee and Board of Governors; is a trustee of the Schwab Funds, Laudus Funds, and Schwab ETFs; and is a director of the Charles Schwab Worldwide Funds. She is also a trustee of the California chapter of the Nature Conservancy.
Janine Comstock is senior vice president and chief security officer of MFS Investment Management® (MFS®). In her role, she is responsible for MFS’s global security group and overseeing the security strategy, safeguards, and operations that protect the firm from technology, cyber, and physical risks. Before joining MFS in May 2017, Comstock was global chief information security officer at Aegon, overseeing the global information security program. She was responsible for building a global program, defining strategy, and managing a global team and operations. Before that, she held several senior-level security positions in the telecommunications, publishing, and insurance industries. Comstock has more than 20 years of IT experience, including more than 15 years as an executive leader in information (cyber) security and risk. She has held several industry designations and appointments, and has successfully guided complex multinational companies in safeguarding business assets and operations. Comstock is a certified information systems security professional (CISSP).
Jillian DelSignore is the head of ETF distribution with J.P.Morgan’s asset management business. She is responsible for leading the sales efforts and strategy in the intermediary and institutional markets. DelSignore also currently serves as copresident of Women in ETFs, the first women’s group for the ETF industry founded in January 2014. Before joining J.P.Morgan in September 2015, DelSignore was a strategic account manager within BlackRock's iShares ETF institutional asset management group. She was responsible for developing and maintaining relationships with institutional investors, including boutique asset managers, global institutional asset managers, hedge funds, and registered investment advisory firms. Before joining iShares in March 2009, DelSignore worked in the independent advisory channel of Goldman Sachs Asset Management covering GSAM mutual funds, separate accounts, retirement plans, and alternative investments. She joined Goldman Sachs in 2005. DelSignore also worked in both the institutional corporate cash and global bank divisions at Federated Investors from 2000 to 2005.
Michael Doherty focuses his practice on the representation of asset managers. His practice spans a wide variety of products, and he is equally comfortable providing advice with respect to registered funds, unregistered products such as private equity funds, and business development companies. Doherty has considerable experience with the formation and ongoing representation of investment advisers, registered investment companies and their boards of directors, and privately offered investment pools and their sponsors.
Brian W. Dvorak
Brian W. Dvorak is a principal and chief compliance officer (CCO) of The Vanguard Group, and the Vanguard Funds. He joined Vanguard in December 2013 and, before being appointed CCO, led compliance teams responsible for regulatory oversight of Vanguard’s global investment management, trading, fund accounting, and fund distribution operations in addition to Vanguard’s code of ethics, political contributions, and lobbying activities. Dvorak previously worked for OppenheimerFunds, where he was the director of enterprise risk management and held senior roles in the compliance and internal audit departments. Dvorak earned his MBA from the University of Colorado and his JD from the University of Denver Sturm College of Law.
Chad A. Earnst
Chad A. Earnst serves as the global head of compliance for PGIM, the global investment management business of Prudential Financial, Inc. Earnst is also the chief compliance officer of the PGIM mutual funds and oversees compliance for Prudential’s retail adviser and broker-dealer businesses. Earnst is a former SEC regulator skilled in leading the assessment and implementation of risk-based compliance programs for traditional and alternative investments. He has more than a decade of SEC experience leading enforcement investigations and regulatory examinations in domestic and international markets. Before joining Prudential, Earnst led the SEC Division of Enforcement’s Asset Management Unit and served as assistant director in the agency’s Miami regional office, where he supervised investigations involving issues of compliance, board governance, valuation, performance, insider trading, alternative investments, and conflicts of interest. Before joining the SEC in 2003, Earnst was a litigation attorney with Zuckerman Spaeder, LLP, a law firm based in Washington, DC. He received a JD, magna cum laude, from the University of Miami School of Law. Earnst is a Chartered Alternative Investment Analyst.
As IBM’s industry platforms chief technology officer, Tom Eck gets to work with incredible people and killer tools that are shaping the future of financial services technology. His mission is to help developers create the next generation of financial services applications rapidly and securely.
Ahmed Elghazaly is a director of securities operations at ICI. Elghazaly joined the Institute in 2015 and is responsible for, among other things, ICI's Securities Operations Advisory Committee and International Operations Advisory Committee. He has an extensive background in investment operations and international capital markets. Before joining ICI, Elghazaly worked at JP Morgan Investor Services and HSBC Securities Services. He earned his MBA from the New York University, Stern School of Business, and has a degree in economics from Cairo University.
Jeffrey A. Engelsman
Jeffrey A. Engelsman has served as the global chief compliance officer (CCO) of TCW Group (TCW) and the chief compliance officer for TCW’s sponsored registered investment companies (TCW funds) since joining TCW in 2014. Engelsman is responsible for ensuring that the TCW-affiliated registered investment advisers, registered broker-dealers, and the TCW funds have and implement compliance programs required by the relevant federal and state securities laws. In addition, Engelsman has oversight responsibility relating to the compliance functions of TCW’s international operations and compliance with local foreign jurisdictional requirements. Before joining TCW, he was a managing director of New York Life Investments and CCO of the MainStay Funds from 2009 to 2014. He had previously served as director and associate general counsel for the firm, responsible for the retail investment management group within the office of general counsel. From 1999 to 2005, Engelsman was director and senior counsel with Deutsche Asset Management; he had previously served as an attorney at Great West Life & Annuity Insurance Company. Engelsman received his BS in economics from The Wharton School of the University of Pennsylvania. He received a JD from Boston University, and an LLM in taxation from the University of Denver School of Law. He is admitted to practice law in Colorado and Missouri. Engelsman holds series 7, 24, and 63 FINRA licenses.
Jamie Jones Ezefili
Jamie Jones Ezefili is currently the vice president and senior project manager for the corporate social responsibility program at Northern Trust. In this role, she is responsible for delivering the annual Corporate Social Responsibility report as well as managing sustainability assessments, including Bloomberg, GEI, DJSI, CDP, and FTSE4Good. Before joining this team, Ezefili served as a senior consultant in Enterprise Enablement’s product development. In this role, she was responsible for managing capital funded change initiatives, complex products, and projects across multiple streams within corporate and institutional services at Northern Trust. Ezefili was previously a second vice president in global fund services at Northern Trust. She managed the North American transfer agency operation’s department for daily valued registered funds, commingled funds, and group trust. Before joining Northern Trust, Ezefili managed the transfer of accounts department at Mesirow Financial, and worked as an analyst in the transfer agency at Boston Financial Data Services. Ezefili is vice president of the Black Business Resource Council and a member of Women in Leadership Resource Council, Program Committee. She also served as cochair of the 2015 United Way Leadership Committee.
Randall S. Fillmore
Randall S. Fillmore currently serves as chief compliance officer (CCO) for the Aquila Group of Funds (AGOF), Aquila Investment Management (AIM), and Aquila Distributors (ADL). In addition, Fillmore serves as chair for Aquila Entities Risk Group and reports to the Compliance Risk and Insurance Oversight Committee of the AGOF Boards of Trustees. Fillmore has more than 35 years of cumulative experience in the investment management and brokerage industries. His prior experience includes serving as the fund and adviser CCO for the Schwab Funds and Charles Schwab Investment Management, respectively, where he designed, developed, and implemented compliance programs for Schwab‚ proprietary fund families, and the firm’s broker-dealer and mutual fund processing platforms. He held senior-level positions in information systems risk management and investment management audit and business advisory services with PriceWaterhouseCoopers. Fillmore received a BS in business administration and a BS in accounting from the University of Kansas, graduating magna cum laude.
Martin L. Flanagan
Martin L. Flanagan is president and CEO of Invesco, a position he has held since August 2005. He is also a member of the Board of Directors of Invesco and serves as a trustee and vice chairman of the Invesco Funds. Flanagan joined Invesco from Franklin Resources, where had served as president and co–chief executive officer, copresident, chief operating officer, chief financial officer, and senior vice president. Flanagan served as director, executive vice president, and chief operating officer of Templeton, Galbraith & Hansberger, Ltd. before its acquisition by Franklin in 1992. Before joining Templeton in 1983, he worked with Arthur Andersen & Co. Flanagan earned a BA and BBA from Southern Methodist University (SMU). He is a CFA charterholder and a CPA. Flanagan serves on ICI’s Board of Governors and Executive Committee; he is a former Executive Committee chairman. He also serves as a member of the Executive Board at the SMU Cox School of Business and is involved with a number of civic activities in Atlanta.
James A. Fricano
James A. Fricano is vice president and compliance officer at Wellington Management Company, where he is responsible for leading and developing the data strategy for the compliance function. He advises on process design across the compliance group in support of the compliance program in areas of data analytics and data collection systems. He is a member of the data governance working group. Before joining Wellington in 2017, Fricano was the chief compliance officer for Balter Capital Management and Balter Liquid Alternatives and affiliated entities (2015–2017). From 2010 to 2015, he was at the Federal Reserve Bank of Boston, as an examiner of State Street Corporation and its asset management division, State Street Global Advisors, and as a supervisor in the data analytics group. Previously he was an economic litigation consultant with Charles River Associates and Analysis Group, where he directed teams to assess risk and compliance practices and estimate litigation damages for firms providing asset management, investment banking, trading, credit, clearing, and settlement services. Before attending graduate school, he was an actuarial analyst for Towers Watson. Fricano earned his BSBA from Washington University in St. Louis, and his JD and MBA from the University of Wisconsin–Madison.
Cary Fuchs has been with Principal Funds for 11 years, with more than 30 years in the financial services industry. Before Principal, Fuchs spent 14 years in relationship management with Boston Financial Data Services and 10 years with a mutual fund and limited partnership company in Los Angeles. He is responsible for transfer agency operations, broker-dealer back-office support, sales reporting support, and data management. Fuchs represents Principal Funds on several industry committees such as the ICI Operations Committee and is the chair of the ICI Transfer Agent Advisory Committee. In addition, Fuchs represents the funds business on several other internal and external working groups related to the financial services industry.
Amy S. Gilfenbaum
Amy S. Gilfenbaum, managing director, joined Neuberger Berman in 2000. She is the head of operational risk management and chairs the Operational Risk Committee. Previously, Gilfenbaum was internal audit director at Lehman Brothers and was responsible for establishing the internal audit function at Neuberger Berman after it went public in 1999. In addition, Gilfenbaum was assistant treasurer at Lehman Brothers for more than 10 years, where she was responsible for the liability and liquidity management functions for the US holding company and broker-dealer unit. She received her BA from Wellesley College and MBA from New York University Stern School of Business, with a concentration in accounting. She was awarded her CPA in 1985 and gained her audit experience at Coopers & Lybrand.
John R. Gilner
John R. Gilner is a vice president of T. Rowe Price Group, T. Rowe Price Associates, and T. Rowe Price Investment Services. He is a managing counsel in the firm’s legal department and serves as the chief compliance officer of T. Rowe Price's mutual funds and their investment adviser, T. Rowe Price Associates. Gilner has oversight responsibility for all compliance activities for T. Rowe Price’s North American activities and he assists with the structuring and oversight of the firm’s compliance activities globally. Before joining T. Rowe Price in 2000, he was a vice president of legal compliance with Legg Mason Wood Walker; before that, he was a tax attorney with Coopers & Lybrand. Gilner earned a BS, cum laude, in business administration, with a concentration in finance, from Georgetown University, and a JD, with honors, from the University of Maryland School of Law. He is a Series 4, 7, 8, 24, and 63 registered representative and is a member of the Maryland State Bar Association.
James P. Gorman
James P. Gorman is chairman and chief executive officer of Morgan Stanley. Gorman became CEO in January 2010 and chairman in January 2012. He joined the firm in February 2006 and was named copresident in December 2007. Before joining Morgan Stanley, Gorman held a succession of executive positions at Merrill Lynch. Before this, he was a senior partner of McKinsey & Co. and began his career as an attorney in Melbourne, Australia. Gorman serves as a director of the Federal Reserve Bank of New York and the Council on Foreign Relations, cochair of the Board of Overseers of the Columbia Business School, and as a member of the Monetary Authority of Singapore International Advisory Panel, the Business Council, and the Board of the Institute of International Finance. He formerly served as president of the Federal Advisory Council to the US Federal Reserve Board, cochairman of the Partnership for New York City, chairman of the Board of the Securities Industry and Financial Markets Association, and cochairman of the Business Committee of the Metropolitan Museum of Art. Gorman earned a BA and law degree from the University of Melbourne and an MBA from Columbia University.
Keith F. Hartstein
Keith F. Hartstein currently serves as independent chairman of PGIM Investments’ Mutual Fund Board, which he joined in September of 2013 following a 22-year career with John Hancock Funds (now John Hancock Investments). He was named to the IDC Governing Council in November 2014. Hartstein served as CEO and president of John Hancock Funds from 2007 to 2012. Hartstein is also a past chairman of ICI’s Sales Force Marketing Committee and a former member of the Executive Committee of the Mutual Fund Education Alliance. He received his BA in journalism from Louisiana State University and completed the Securities Industry Institute at The Wharton School as well as the Executive Integral Leadership Program at the University of Notre Dame. An avid cyclist, Hartstein cofounded Hancock cycling teams that raised nearly $1.5 million for cancer research and intellectual disabilities charities, and has also devoted service and fundraising efforts to Big Sisters of Boston, Bikes Belong, and the United Way.
Andrew Henderson is a partner in the financial institutions group at Eversheds Sutherland, with more than 18 years’ experience as a financial services lawyer. He co-leads the firm’s non-contentious financial regulation practice and helps oversee its financial consulting, and he advises financial institutions on all aspects of EU and UK financial regulation. This includes advisory, project, and transactional work in connection with the Markets in Financial Instruments Directive (including MiFID II implementation); capital requirements regulation (including advice on capital structuring, exposure, and group consolidation issues); alternative investment fund managers and UCITS directives (including advice on managers’ duties and distribution); EU market abuse regulation; governance (including senior managers and the certification regime); and client money and assets, in respect of which he has acted as a FCA skilled person and advises firms regularly, particularly in response to CASS audits. Henderson has developed an expertise in fintech and digital financial services, having advised on the first successful UK-based initial coin offering. Since then he has advised a range of firms on cryptocurrencies and tokenization; using blockchain; firms in the FCA sandbox; setting up automated advice/robo-advice solutions and app technology; and acquisition of fintech companies. Henderson has been seconded to the UK Financial Services Authority, the secretariat to the Bank of England Financial Markets Law Committee, and the compliance department of an international investment bank. He has contributed to various academic and practitioner texts since 2000, including most recently Gore-Browne on EU Company Law and Financial Services Law. Henderson was a college law lecturer at the University of Cambridge, where he obtained a PhD in public law.
Amy E. Herman
Amy E. Herman is a lawyer and art historian who uses works of art to systematically sharpen observation, analysis, and communication skills. By showing people how to look closely at painting, sculpture, and photography, she helps them hone their visual intelligence to recognize the most pertinent and useful information as well as recognize biases that impede decisionmaking. She developed her Art of Perception seminar in 2000 to improve medical students’ observation and communication skills with their patients when she was the head of education at the Frick Collection in New York City. Herman subsequently adapted the program for a wide range of professionals and leads sessions internationally for the New York City Police Department, the FBI, the French National Police, the Department of Defense, Interpol, the State Department, Fortune 500 companies, first responders, the military, and the intelligence community. In her highly participatory presentation, she will demonstrate the relevance of visual literacy across the professional spectrum and how the analysis of works of art affords the participants in her program an innovative way to refresh their sense of critical inquiry and reconsider the skills necessary for improved performance and effective leadership. The program has been featured in the New York Times, the Wall Street Journal, CBS Evening News, and Smithsonian Magazine, among others. Herman holds an AB, a JD, and an MA in art history. Her book, Visual Intelligence, was published in May 2016 and was on the New York Times and Washington Post best-seller lists.
Yie-Hsin Hung is the CEO of New York Life Investment Management LLC (NYLIM), New York Life’s global multi-boutique third party asset management business, and member of the Executive Management Committee of New York Life. With $316 billion under management as of December 31, 2017, NYLIM, one of the world’s largest asset managers, is a wholly owned subsidiary of New York Life Insurance Company. As CEO, Hung expanded NYLIM’s global footprint and investment capabilities through both acquisition and organic growth. Most recently she established the firm’s presence in Japan, and oversaw the addition and integration of European real estate and distressed credit capabilities to NYLIM’s offerings. Previously, as copresident of NYLIM and chairman of NYLIM International, Hung led the firm’s international expansion with the addition of Candriam in Europe and Ausbil in Australia. She also expanded the firm’s ETF presence through the acquisition of IndexIQ, a leading alternatives and strategic beta ETF provider.
Hung joined New York Life in 2010 with more than 30 years of industry experience, most recently from Bridgewater Associates and before that, Morgan Stanley Investment Management, where she was on the Management Committee and led a number of efforts, including its strategic acquisition activities and private equity and hedge fund businesses. Her career began in investment banking with Morgan Stanley, with a focus on real estate. In 2017, Hung was named to American Banker’s “Most Powerful Women in Finance” and was elected to the Board of Directors of The New England Center for Children, a global leader in education and research for children with autism. Hung earned her MBA from Harvard University and her bachelor’s degree in mechanical engineering from Northwestern University.
David A. Hunt
David A. Hunt is president and chief executive officer of PGIM, the global investment management businesses of Prudential Financial, Inc. PGIM is among the top 10 largest asset managers in the world with more than $1 trillion in assets under management as of December 31, 2017. PGIM has 30 offices in 16 countries and provides a wide range of asset classes, including public and private fixed income, fundamental and quantitative equities, and real estate. In addition to his PGIM role, Hunt serves on the Operating Council for Prudential’s US businesses. Before joining Prudential, he was at McKinsey & Company for 22 years, and was a senior partner and co-leader of McKinsey’s North American Asset Management business. He serves on the Executive Committee of the Board of Directors for the Lincoln Center for the Performing Arts and is a life member of the Council on Foreign Relations. Hunt is a member of the Board of Directors for the Toigo Foundation, an organization devoted to diversity in the investment management business. Hunt earned a bachelor’s degree in engineering from Princeton University and an MBA in finance and multinational management from the University of Pennsylvania’s Wharton School.
Kathleen T. Ives
Kathleen T. Ives is senior vice president and director of internal audit for OFI Global Asset Management. Ives leads a team of 20 professionals who provide an independent assessment of risk management, governance, and controls related to OppenheimerFunds’ processes, and identify actionable plans to help enhance the control environment. Ives has more than 25 years of experience in legal, audit, compliance, corporate governance, and risk management at OppenheimerFunds. Before leading the internal audit team, she was deputy general counsel with responsibilities including oversight of all reporting for the Boards of Trustees; she also oversaw coordination of all disclosure and regulatory filings, and provision of legal services for the transfer agent, contract review team, and 529 plans. Ives received her bachelor’s degree from the University of Colorado and her JD, cum laude, from Saint Louis University School of Law. She is a Certified Internal Auditor and a Certified Fraud Examiner, and is FINRA Series 7 and 24 licensed.
Adam Jonas is a managing director and leader of Morgan Stanley's global auto and shared mobility research team. Jonas joined the firm's investment banking division in Chicago in 1996, specializing in corporate finance and mergers and acquisitions in the automotive industry. In 1999, Jonas moved to equity research and joined the firm’s European autos team, based in London, serving as the lead European auto analyst from 2003 to 2010. In 2010, Jonas returned to the United States to lead the global autos and shared mobility teams, collaborating with his research colleagues to tell the story of the future of transportation and Auto 2.0. Jonas earned his BBA (with distinction) from the University of Michigan.
Joanne Kane is the director of operations and transfer agency of the Investment Company Institute. Kane joined ICI in 2013 and is responsible for facilitating transfer agent initiatives with industry stakeholders, and collaborating with stakeholders to pursue and achieve related regulatory, legislative, and public policy goals. She has more than 25 years of experience in the financial services industry, including extensive knowledge of transfer agency and compliance. Before joining ICI, Kane served as vice president of transfer agent governance and administration for Columbia Management Investors Services, Corp. Earlier in her career, she served as assistant vice president of transfer agent compliance with IXIS Asset Management Services. Kane graduated magna cum laude from Providence College with a BS in finance.
Sarah H. Ketterer
Sarah H. Ketterer is the chief executive officer of Causeway and portfolio manager for the firm's fundamental and absolute returns strategies, and is responsible for investment research across all sectors. Ketterer is a member of Causeway's Operating Committee. She cofounded the firm in June 2001 and has 32 years of investment experience. From November 1996 to June 2001, Ketterer worked for the Hotchkis and Wiley division of Merrill Lynch Investment Managers, where she was a managing director and co-head of the firm's international and global value team. From 1990 to 1996, she was a portfolio manager at Hotchkis and Wiley, where she founded its international equity product. Ketterer is currently a director of the Los Angeles Philharmonic, the Music Center Foundation (chairing its Investment Committee), and the Los Angeles World Affairs Council. She serves on the Los Angeles Advisory Board of Girls Who Invest and the west coast Advisory Council of College Spring. Ketterer has a BA in economics and political science from Stanford University and an MBA from the Amos Tuck School, Dartmouth College.
Thomas Knipper is vice president and chief compliance officer (CCO) for Ameritas Investment Partners (AIP), a registered investment adviser and member of the Ameritas Holding Company enterprise headquartered in Lincoln, Nebraska. Knipper, who joined Ameritas in 1995, has been AIP’s CCO since 2004. He is responsible for all compliance matters of the adviser, including related areas of responsibility for eight Eaton Vance mutual funds subadvised by AIP. Knipper also served as CCO for Summit Mutual Funds before its sale to Calvert Funds in 2008. Since 2013, Knipper has been a director and Audit Committee chair of Investment Managers Series Trust II. Before joining Ameritas, Knipper was the chief financial officer of Gateway Investment Advisers and the Gateway Fund; previously he had been a senior manager in audit for Deloitte. He received a bachelor’s degree from the University of Dayton and is licensed as a CPA in Ohio.
Frank Knox is vice president and chief compliance officer (CCO) for John Hancock Investment Company Operations, including the John Hancock Group of Funds, John Hancock Advisers, and John Hancock Investment Management Services; he has held these positions since January 2005. Knox is responsible for managing all investment company compliance responsibilities for the company’s mutual fund, variable life insurance, and annuity product areas. In 2014, he was given responsibility for developing a compliance program for the John Hancock UCITS platform, and in 2015, he was also named CCO for John Hancock Personal Financial Services, an SEC-registered investment adviser offering digital advice products. Before joining John Hancock, Knox served as vice president of Fidelity Management & Research Company and as assistant treasurer of the Fidelity Group of Funds; he also previously served as Fidelity’s vice president of ethics, and compliance officer. Before his tenure at Fidelity, he had a lengthy career with the National Association of Securities Dealers (now FINRA), working in its Washington, Chicago, and Boston offices. While there, he served as director of market surveillance for NASDAQ.
Teresa Kong is a portfolio manager at Matthews Asia and manages the firm’s Asia strategic income and Asia credit opportunities strategies. Before joining Matthews Asia in 2010, she was head of emerging market investments at Barclays Global Investors, now known as BlackRock, responsible for managing the firm’s investment strategies in Asia, Eastern Europe, Africa, and Latin America. Kong developed and managed strategies spanning absolute return, active long-only, and exchange-traded funds. In addition to founding the fixed-income emerging markets group at BlackRock, she was also senior portfolio manager and credit strategist on the fixed-income credit team. Previously, Kong was a senior securities analyst in the high yield group with Oppenheimer Funds, and began her career with JP Morgan Securities, where she worked in the structured products group and Latin America capital markets group. She received a BA in economics and political science as well as an MA in international development policies from Stanford University.
David Lamb is a managing director in the global product group at Nuveen, which he joined in 1991, and has more than 25 years of experience in the investment management business. He leads the fund analyst team, which provides product management and development support as well as analytical and financial modeling for all Nuveen products. Lamb is also responsible for outside relationships related to closed-end funds and acts as a liaison to national exchanges and the primary contact for the analyst community and institutional investors. He represents Nuveen on ICI’s Closed-End Fund Committee. Lamb received a BS in finance from the University of Illinois, and is a CPA. He also holds FINRA Series 7, 24, and 56 licenses.
Bruce G. Leto
Bruce G. Leto is a partner with Stradley Ronon Stevens & Young. He is the cochair of Stradley Ronon’s investment management practice group and was the group’s chair from 1994 through 2017. Leto counsels investment companies, investment advisers, independent trustees, and broker-dealers on securities and corporate matters relating to pooled investment products, including registered and unregistered and open- and closed-end investment companies. He advises such clients on registration, transactional, and compliance matters. Among many other projects, Leto recently supervised proxy solicitations for two large investment company complexes involving several hundred funds. Leto has been included in the annual editions of The Best Lawyers in America consecutively since 2007, and Chambers USA: America’s Leading Lawyers for Business has named him a national “investment funds: registered funds” leader in the 2009 through 2017 editions, where he has been ranked in “Band One” since 2014. Leto has also been given special mention in the Legal 500 from 2010 to 2017 and was named to the Legal 500’s Leading Lawyer Hall of Fame in 2017. Notably, in 2017, Mutual Fund Wire named Leto as one of the most influential people in the mutual funds industry. He was also selected by Ignites as a 2009 Fund Titan. Leto was appointed to the Advisory Board of BoardIQ in 2007 and has served in that capacity since then. He lectures extensively at seminars sponsored by ICI, the Independent Directors Council, and other organizations. He is a member of Stradley Ronon’s Board of Directors and Management Committee. Leto received his undergraduate degree from Haverford College and his law degree from Villanova University.
Jerry Linenger is a retired United States Navy flight surgeon and NASA astronaut. A Naval Academy graduate, he holds doctorates in both medicine and research methodology, as well as dual master's degrees in policy and systems management. He has also been awarded three honorary doctorate degrees in science. Linenger was awarded the 2013 Trailblazer Award from the Wayne State University School of Medicine for his lifelong contributions to medical research and to the advancement of medicine. In 2008, NASA awarded Linenger the Distinguished Service Medal, its highest award, citing his courage and outstanding service to the United States. Linenger is the author of the books Off the Planet and Letters from Mir: An Astronaut’s Letters to His Son. He is a founding board member of the global freshwater think tank Circle of Blue and has been awarded the 2012 Royal Canadian Geographical Society’s Gold Medal in recognition of his remarkable achievements in space. He has appeared in numerous documentaries seen on Discovery, Nova, the History Channel, PBS, and National Geographic Television. As a space analyst, Linenger appears frequently on NBC’s Today Show and Nightly News, as well as on various CBS, CNN, PBS, and FOX news shows. He has also worked behind the scenes as scientific adviser to various futuristic films about voyages to Mars. In 2016, Linenger was prominently featured in Discovery’s eight-part series, Secret Space Escapes, and is presently narrating a National Geographic program, Planet Earth.
David H. Lui
David H. Lui leads the contract strategy and negotiation team at Galliard, which is responsible for implementing management initiatives with respect to stable value investment contracts and other client contracts. In addition to his role at Galliard, Lui is a nationally recognized speaker on compliance issues. He earned a BA in history from Brown University and a JD from the University of California, Hastings, College of the Law.
Michael J. Mastroianni
Michael J. Mastroianni is the executive director at J.P. Morgan Asset Management and has been an employee of the firm since 2011. He is responsible for the oversight and management of all North American transfer agency relationships across multiple lines of business. His role also includes the management/oversight of several transfer agency-related functions in addition to teams that perform project management, intermediary oversight, and various client-facing service functions. As part of his current responsibilities, Mastroianni represents the firm on ICI’s Transfer Agency Advisory Committee and Operations Committee. Before joining J.P. Morgan, he spent 12 years at Citi, where, as a vice president, he was responsible for relationship management, business management, and supervision of middle office, custody, securities lending, administrative/compliance, fund accounting, and transfer agency services. Before joining Citi, Mastroianni also had responsibility for managing back-office operations at Sweney Cartwright and Company. He holds a degree in marketing/business management from Capital University in Bexley, Ohio, and a FINRA Series 6 license.
Ellen McGlynn Koke
Ellen McGlynn Koke is currently vice president, corporate compliance responsible for the cross-functional compliance team. This team includes centralized compliance activities and programs that leverage technology, processes, services, and subject matter expertise. Specific areas of responsibility include communications with the public, compliance technology and data analytics, anti–money laundering, and broad compliance programs, including anti-bribery/anti-corruption, securities trade monitoring, conflicts of interest, gifts and entertainment, and political law activities.
McGlynn Koke was previously the vice president and deputy chief compliance officer for PGIM, Inc. In this role, she was responsible for identifying, assessing, and managing compliance risks for Prudential Capital Group, PGIM Real Estate Finance, and centralized compliance functions supporting Prudential’s asset management units. McGlynn Koke was also chairperson of Prudential’s Compliance Technology Council, which focused on the intersection of technology and compliance, including systems implementations and creative use of data in compliance applications. Before her asset management compliance role, McGlynn Koke held various positions in the compliance department, including building and managing compliance functions and systems supporting securities trade monitoring, regulatory filings, political law, gifts and entertainment, and marketing material review oversight. McGlynn Koke received a BS from Rutgers University and is a member of the National Society of Compliance Professionals.
Jon Meacham is a presidential historian, Pulitzer Prize winner, and contributing editor at TIME, where he writes for the magazine’s “Ideas” section. In the New York Times Book Review, he pens “The Long View” column in which he “looks back at books that speak to our current historical and cultural moment.” He served as Newsweek’s managing editor from 1998 to 2006 and editor from 2006 to 2010. Meacham’s latest book, The Soul of America: The Battle for Our Better Angels, was published in May 2018. His presidential biography, Destiny and Power: The American Odyssey of George Herbert Walker Bush, debuted at number one on the New York Times bestseller list in November 2015. His other national bestsellers include Thomas Jefferson: The Art of Power; Franklin and Winston; American Gospel; and American Lion: Andrew Jackson in the White House, which won the Pulitzer Prize in 2009. He is a regular guest on Morning Joe and is known as a skilled raconteur with a depth of knowledge about politics, religion, and current affairs. He has appeared on Meet the Press and The Colbert Report, and in Ken Burns’s documentary series The Roosevelts: An Intimate History. Meacham was named a “Global Leader for Tomorrow” by the World Economic Forum; is a member of the Council on Foreign Relations and a fellow of the Society of American Historians; and chairs the National Advisory Board of the John C. Danforth Center on Religion and Politics at Washington University. Meacham is a distinguished visiting professor of history at The University of the South and a visiting distinguished professor at Vanderbilt.
Charlie Miller is senior vice president of Santa Fe Group Shared Assessments, where his key responsibilities include managing and expanding the collaborative onsite assessments program and facilitating regulatory, partner, and association relationships. Miller has vast industry experience, having led vendor risk management and financial services initiatives for several global companies. He was previously the director of vendor and business partner risk management at AIG, where he managed regulatory and governance activities for the organization’s enterprise vendor risk management program, including co-leading the definition and implementation components; during his tenure at AIG, he simultaneously served as a Shared Assessments Steering Committee member. Before joining AIG, Miller led the vendor risk management group at the Bank of Tokyo-Mitsubishi UFJ. Miller has also served in other key roles, including as CEO of his own company, Charles R. Miller & Associates, and senior vice president for the Santa Fe Group. He also held multiple leadership roles at Merrill Lynch, where he oversaw the company’s global vendor management program and designed and implemented major global initiatives. His experience also includes time as a consulting partner at Deloitte, and leading a financial services practice unit focused on outsourcing, risk management, and cost control.
Kirk Moore is vice president and global head of research at Columbia Threadneedle Investments. Moore joined one of Columbia Threadneedle Investments’ legacy firms in 2003 and was promoted to the global head of research in 2017. Previously, Moore worked at UBS/Brinson in Chicago, where he covered the telecommunications, cable, media, and utilities industries. He has been a member of the investment community since 1990. Moore received a BA in finance from the University of Missouri–St. Louis and an MBA with a concentration in finance from Washington University in St. Louis. In addition, he holds the Chartered Financial Analyst® designation.
Brian Moran is a managing director and the head of AMG Funds national accounts and retirement; he joined the firm in 2015. Moran is responsible for strategically delivering AMG’s resources and capabilities to intermediary home offices and their research organizations in their nonretirement, retirement, and/or offshore divisions. Before joining AMG, Moran spent more than a decade at Neuberger Berman, where he held various sales and leadership roles. Moran began his career as an investment specialist with Credit Suisse Asset Management and Merrill Lynch Asset Management, where he focused on working with financial advisers. He earned a BS in marketing from Penn State University and an MBA in finance from Temple University. In addition, he is a Certified Investment Management Analyst (CIMA). Moran is actively involved in a number of industry organizations, such as ICI, the New York Economic Club, the Money Management Institute, and the Catalyst Group.
Nancy M. Morris
Nancy M. Morris is managing director and chief compliance officer of Wellington Management Company. She joined Wellington in 2012 from Allianz Global Investors, where she served as chief US regulatory counsel. Before joining Allianz, she served as secretary of the SEC and as an attorney-fellow in its Division of Investment Management. Earlier in her career, Morris held several positions at the SEC. She also spent 10 years as vice president and associate legal counsel at T. Rowe Price Associates and two years at Fidelity Investments. Morris is a graduate of Hartwick College and the University of Idaho School of Law.
Molly Moynihan is a partner at Perkins Coie, where she focuses her practice on investment management clients, including registered open-end investment companies, registered investment advisers, independent directors of fund complexes, and private funds. Moynihan serves as fund counsel to a major fund complex, regularly counseling on fund formation, regulatory requirements, and compliance. She has in-depth experience with risk management issues associated with portfolio management and valuation and has developed and provided counsel on adviser and fund compliance and risk management programs. She has also provided counsel in connection with mergers and acquisitions of affiliated and unaffiliated investment companies and investment advisers, affiliated transactions, and distribution issues. Moynihan also represents the independent directors of several mutual fund complexes and regularly counsels registered investment advisers to private funds. She served for six years as general counsel to a multi-billion-dollar registered investment company, whose primary investors were large public and ERISA-regulated pension plans, handling the company's regulatory filings and compliance and acting as liaison to the board of trustees. Moynihan is also experienced in the emerging area of blockchain and fintech as related to the investment management area. She regularly lectures on the role of independent directors, risk management, and current regulatory issues faced by the industry.
Tim Ney is the Edward Jones principal responsible for the firm’s operations division; he also serves on the Edward Jones Management Committee. Ney joined the firm in 1992 as a member of internal audit. He moved to branch administration three years later to lead branch transition and lease administration. In 1997, he assumed responsibility for financial reporting in accounting. The following year, Ney moved to mutual fund operations to help implement shareholder accounting. Ney was named a principal with the firm in 2000, and in 2001 he led the relocation of mutual fund operations to the firm’s Tempe campus in Phoenix. In 2008, he moved back to St. Louis and was responsible for the security, trades, advisory, and retirement services areas of operations. He assumed his current responsibilities in 2017. Ney is a member of the Securities Industry and Financial Markets Association’s Operations and Technology Steering Committee and the Depository Trust & Clearing Corporation’s Operations Advisory Committee. Before coming to Edward Jones, he was a CPA for Ernst & Young in its entrepreneurial services area. Ney earned both a BBA and an executive MBA from Washington University in St. Louis.
Matthew P. O’Connor
Matthew P. O’Connor is president of American Funds Distributors, part of Capital Group. He has 24 years of investment industry experience and has been with Capital Group for nine years. Earlier in his career at Capital, O’Connor led the institutional investment services group and managed the insurance client relationship group. Before joining Capital, he was managing director of business development at Putnam Investments. He holds an MBA from F. W. Olin Graduate School of Business at Babson College and a bachelor’s degree in economics from Saint Anselm College. He also holds the Chartered Financial Analyst® designation.
Joanne Pace is an independent director on the board of the OppenheimerFunds, and is an independent board director for other public and private companies. She has held multiple senior management roles, including chief operating officer (COO) and managing director of Morgan Stanley Investment Management, responsible for managing all noninvestment functions, including technology and operations, as well as managing the impact and aftermath of the 2008 financial crisis. Pace was also COO and partner at FrontPoint Partners, a multi-strategy hedge fund. At Credit Suisse, she led that firm’s human capital initiatives as its global head of human resources and as a member of the firm’s Executive Committee. Earlier in her career, she was Morgan Stanley’s controller and principal accounting officer, a role she assumed after serving as the chief financial officer of the oversight committee for the financial industry’s bailout of Long Term Capital Management during the 1998 financial crisis. Pace has an MBA from New York University’s Stern School of Business and is a CPA.
Stuart S. Parker
Stuart S. Parker is president and CEO of PGIM Investments, the worldwide distributor of investment products through financial intermediaries for PGIM, Inc. The firm adopted the PGIM Investments name in 2017 as part of a re-branding initiative, and on June 11 it will re-name its fund family to PGIM Funds. Under Parker’s leadership, the company has grown to $97.4 billion in assets under management, making it the sixth-fastest organic mutual fund family in AUM growth since 2008. While mutual funds continue to be a growth engine, the company embarked on a vehicle-agnostic approach to intermediary distribution, which led to the buildout of a global platform with the 2013 launch of the firm’s UCITS suite that now includes 26 funds in 15 countries. This approach also included launching the Day One TDF Mutual Funds and the company’s first exchange-traded fund—the PGIM Ultra Short Bond ETF. Parker also oversees the Strategic Investment Research Group, which provides oversight for third-party investment managers across Prudential platforms. Previously, he spent 14 years at Citigroup Asset Management, where he had various roles in proprietary and non-proprietary distribution. Parker holds a bachelor’s degree from Rollins College and an MBA from Thunderbird, the American Graduate School of International Management. He is a board member of the Investment Company Institute, as well as president and a director of PGIM Funds.
Monica L. Parry
Monica L. Parry is counsel for Morgan Lewis, where her practice focuses on investment advisers and closed-end investment companies. Parry’s background includes drafting and reviewing contracts and disclosure documents for wrap fee programs, drafting service contracts and registration statements, conducting mock exams, and counseling registered and unregistered advisers and funds on compliance issues. Before entering private practice, Parry was a senior counsel in the SEC’s Office of Chief Counsel, Division of Investment Management, which she had joined as a staff attorney. She also served as counsel to Commissioner Richard Y. Roberts. Parry has coauthored numerous articles. She earned a BA from Marquette University and a JD from William and Mary School of Law.
Michael S. Piwowar
Michael S. Piwowar was first appointed to the US Securities and Exchange Commission (SEC) by President Barack Obama and was sworn in on August 15, 2013. Piwowar was designated acting chairman of the SEC by President Donald Trump from January 23, 2017, to May 4, 2017.
Previously, Piwowar was the Republican chief economist for the US Senate Committee on Banking, Housing, and Urban Affairs. He was the lead Republican economist on the four SEC-related titles of the Dodd-Frank Act and the JOBS Act. Piwowar also worked on a number of important SEC-related oversight issues under the jurisdiction of the committee. During the financial crisis and its immediate aftermath, Piwowar served at the White House as a senior economist at the President’s Council of Economic Advisers (CEA) in both the George W. Bush and Barack Obama administrations. Piwowar also served as a staff economist for the Financial Regulatory Reform Working Group of the President’s Economic Recovery Advisory Board.
Before this, Piwowar worked as a principal at the Securities Litigation and Consulting Group (SLCG). Piwowar’s first roles at the SEC were in the Office of Economic Analysis (now called the Division of Economic and Risk Analysis) and as a senior financial economist. He was an assistant professor of finance at Iowa State University and has published a number of articles in leading academic publications and received several teaching and research awards. Piwowar received a BA in foreign service and international politics from the Pennsylvania State University, an MBA from Georgetown University, and a PhD in finance from the Pennsylvania State University.
Fran Pollack-Matz is a vice president of T. Rowe Price Group, Inc., and T. Rowe Price Associates, Inc. She is a senior legal counsel in the legal department of T. Rowe Price Associates, responsible for matters related to the Price Funds, distribution of the Price Funds and proprietary variable insurance products, and retail advisory products. Before joining T. Rowe Price, she held positions working on investment management issues, including as an attorney in the Division of Investment Management at the Securities and Exchange Commission; as counsel at Dechert, LLP; and as a senior counsel and director at Deutsche Bank AG. Pollack-Matz earned her BBA in finance from George Washington University and her JD from the George Washington University Law School. She is a Series 7 and 24 registered representative.
Randy Randall is chief compliance officer (CCO) of William Blair’s Investment Management; he is also CCO of the William Blair Funds. Before joining the firm in September 2008, he served as the CCO for Calamos Investments, where he was responsible for oversight of the firm’s compliance program. Randall has more than 20 years of legal and compliance experience in the investment management industry. He has also served as assistant general counsel at American Century Investments and associate counsel at Zurich Kemper Investments. He received his BA from Washington and Lee University and his JD from the University of Kansas School of Law.
Chad Renfro is executive vice president of enterprise cybersecurity for Fidelity Investments. Renfro is a distinguished officer graduate of Baylor University and has worked for more than 20 years in information security. Most recently, he served as the chief information security officer (CISO) of Bank of America’s information protection division, leading more than 1,200 security professionals. Renfro was with Bank of America from 2000 to 2004. Before joining Bank of America, Renfro served as an officer with the United States Air Force Computer Emergency Response Team (AFCERT) at the Air Force Information Warfare Center, headquartered near San Antonio. While at the AFCERT, Renfro built and led a team of cyber defense analysts and worked on developing systems used for detecting compromised assets. He was then advanced to the position of chief of technical operations.
Over his career, Renfro has led more than 500 cyber incident investigations, and developed several specialized tools for information security, including specialized intrusion detection systems. He has 11 patents filed in the areas of risk management and intrusion detection.
David M. Rubenstein
David M. Rubenstein is a cofounder and co–executive chairman of The Carlyle Group, one of the world’s largest private equity firms. Rubenstein cofounded the firm in 1987. Since then, Carlyle has grown into a firm managing $174 billion from 31 offices around the world. From 1973 to 1975, Rubenstein practiced law in New York with Paul, Weiss, Rifkind, Wharton & Garrison. From 1975 to 1976, he served as chief counsel to the US Senate Judiciary Committee’s Subcommittee on Constitutional Amendments. From 1977 to 1981, during the Carter administration, Rubenstein was deputy assistant to the president for domestic policy. After his White House service and before cofounding Carlyle, Rubenstein practiced law in Washington with Shaw, Pittman, Potts & Trowbridge (now Pillsbury Winthrop Shaw Pittman).
Rubenstein is the vice chairman of the Board of the Brookings Institution, a member of the American Academy of Arts and Sciences, Business Council, Harvard Global Advisory Council (Chairman), Madison Council of the Library of Congress (Chairman), Board of Dean’s Advisors of the Business School at Harvard, Advisory Board of the School of Economics and Management at Tsinghua University, and Board of the World Economic Forum Global Shapers Community. Rubenstein has served as chairman of the Board of Trustees of Duke University and cochairman of the Board of the Brookings Institution. Rubenstein, a native of Baltimore, is a 1970 magna cum laude graduate of Duke, where he was elected Phi Beta Kappa. Following Duke, Rubenstein graduated in 1973 from the University of Chicago Law School, where he was an editor of the Law Review.
Kyle Schmiegel is vice president of operational services at Charles Schwab, responsible for overseeing operational transactions for clients. Specific areas of ownership for Schmiegel and his teams in Austin, Phoenix, Denver, and San Francisco currently include the firm’s mutual fund, alternative investment, and print communications platforms. Schmiegel previously managed a variety of Schwab’s other operational areas, including restricted stock, estate services, and operational support for Schwab’s proprietary mutual fund business, responsible for all aspects of the model offer, including trading, product management, risk management, and client experience. Before joining Schwab in 1999, Schmiegel worked for Merrill Lynch and Barclays Global Investors, servicing small and large businesses and their employees in the 401(k) plan administration space. Schmiegel earned a BA in economics from the University of California, Davis. He holds FINRA Series 7 and 24 licenses and currently represents Charles Schwab on ICI’s Broker-Dealer Advisory Committee.
Christy Sears is chief compliance officer (CCO) of the American Beacon Funds and vice president, compliance for Resolute Investment Managers, the parent company of American Beacon Advisors. She is responsible for compliance oversight of Resolute’s affiliated investment advisers and broker-dealer. Sears joined American Beacon Advisors in 1998 and was named CCO in 2004. Before joining American Beacon, she managed middle-office operations for an SEC-registered investment adviser and broker-dealer. Sears holds BAs from Southern Methodist University and an MS from Baylor University’s Hankamer School of Business.
David Semaya is an executive advisor to Sumitomo Mitsui Trust Asset Management and the former chairman of Nikko Asset Management. His 30-year career spans three continents, as he has engaged in financial services business in the United States, Europe, and Asia. Now based in Tokyo, Semaya joined Nikko Asset Management in 2014 and was primarily responsible for overseeing Nikko’s corporate governance, as well as contributing to overall corporate strategy and strategic client relationships. Before returning to Japan, Semaya was most recently with Barclays PLC as CEO of UK and Ireland wealth management and chairman of Barclays Asset Management based in London. Before 2009, he served as CEO for Barclays Global Investors (now BlackRock) Europe and Asia. Until 2004, he was with Merrill Lynch and Co. in a variety of executive leadership positions in asset management and investment banking in New York and Tokyo. Semaya is currently a board director of Rongtong Fund Management Co., Ltd (China), Affin Hwang Asset Management Berhad (Malaysia), and Ambit Investors Advisors Private Limited (India). He currently serves on the newly formed ICI Global Pacific Policy Council. Semaya holds a BA from the University of Florida, and a master’s in education from Temple University; he also has completed the Stanford/NUS Executive Program in International Management.
Janet Squitieri is an executive vice president and global coordinator for JPMorgan Beta Strategies and ETFs. Before joining JPMorgan, Squitieri was the global head of compliance at Van Eck Associates Corporation (Van Eck) and chief compliance officer (CCO) for the Van Eck Funds and Van Eck Securities Corporation. Previously, Squitieri was senior vice president and chief compliance officer for HSBC Global Asset Management North America. From 2000 through 2010, she held several senior positions, including CCO North America, at Babcock & Brown; senior vice president and chief compliance officer at Oppenheimer Capital, an affiliate of Allianz Global Investors; and vice president and associate general counsel at JPMorgan Asset Management. She worked at the New York Stock Exchange for 10 years in the regulatory group, including enforcement, member firm regulation, and market surveillance. Squitieri is a member of the New York, New Jersey, Connecticut, and District of Columbia bars. She has a BS in business management, an MBA in international finance, and a JD from St. John’s University. Squitieri is a member of Women in ETFs and serves on the group’s Mentorship and Leadership Committee. She is also a mentor in the JPMorgan iMentor program. In addition, she volunteers with Meals on Wheels, MEDA Advisory Services, and the English Speaking Union.
Paul Schott Stevens
Paul Schott Stevens has served as president and CEO of the Investment Company Institute since June 2004. Stevens has steered ICI during some of the most challenging years in its history, through the financial crisis and beyond. He has led ICI’s efforts on a series of crucial issues—money market fund reform, passage and implementation of the Dodd-Frank Act, and critically important fiscal and tax issues. In 2011, he directed the launch of ICI Global to respond to the globalization of fund investing and regulation, and has consistently championed the role of investment funds and defined contribution plans in providing for retirement internationally. Stevens served as general counsel of ICI from 1993 to 1997. He also practiced law in Washington for many years, most recently as a partner in the financial services group of Dechert LLP. In addition, Stevens served in senior government positions at the White House and Defense Department, including as special assistant for national security affairs to President Ronald Reagan and as chief of staff of the National Security Council. Upon leaving government service, he was awarded the Defense Department’s Medal for Distinguished Public Service, its highest civilian decoration.
Katherine Stoner has been the head of compliance for Great-West Investments since July 2016. She is the chief compliance officer (CCO) for Great-West Funds, Great-West Capital Management, and Advised Assets Group, managing communications compliance. Stoner previously worked for 17 years at AIG in its legal and compliance departments, most recently as CCO for the investment adviser VALIC, all AIG and VALIC funds, the transfer agent, and the separate accounts. She joined AIG following 16 years at Calvert Investments, beginning in customer service and ending as associate general counsel. Stoner received a BBA in finance from the Wichita State University College and a JD from the Columbus School of Law at the Catholic University of America in Washington, DC. She is a member of the Maryland State Bar Association and holds FINRA Series 7, 26, and 63 licenses.
David U. Thomas
David U. Thomas is senior associate counsel and director of cyber risk issues at ICIM Services, a wholly owned subsidiary of ICI Mutual. Thomas joined ICIM Services in 2003. He received his AB from Harvard University and his JD from the University of Virginia School of Law. After law school, Thomas joined the Chicago office of Mayer, Brown & Platt (now Mayer Brown) as an associate. He also served as senior counsel at the US Securities and Exchange Commission in the Office of the General Counsel and in the Division of Investment Management. He then joined the Washington, DC, office of Kirkpatrick & Lockhart (now K&L Gates) as an associate. Thomas is a member of the District of Columbia bar.
William F. “Ted” Truscott
William F. “Ted” Truscott is CEO of Columbia Threadneedle Investments, a leading global asset manager that provides a broad range of actively managed investment strategies and solutions for individual, institutional, and corporate clients around the world. Truscott serves on several boards across the Columbia Threadneedle and Ameriprise Financial businesses. In addition, he serves as chairman of ICI’s Board of Governors and is a member of the Board of Trustees for Middlebury College. Truscott earned a bachelor’s degree in East Asian studies from Middlebury College and an MBA in finance from New York University, Stern School of Business.
Andreas Utermann is CEO and global chief investment officer (CIO) of Allianz Global Investors (AllianzGI), a global asset manager within Allianz’s asset management division. He is chair of the firm’s Global Executive Committee. Utermann has been a member of the Global Executive Committee since he joined the firm in 2002, initially serving as global CIO, equities and becoming global CIO and co-head in 2012. In March 2016 Utermann became CEO of AllianzGI. In 2016, he was appointed non-executive director of Tokio Marine Rogge Asset Management Limited. Before joining AllianzGI, Utermann spent 12 years at Merrill Lynch Investment Managers (formerly Mercury Asset Management), where he became global head and CIO, equities, as well as a member of various boards. Before this, he worked several years at Deutsche Bank AG. Utermann is chairman of the Forum of European Asset Managers and a member of the Board of ICMA. He sits on the European Institute’s Advisory Board and the Advisory Council of the UK’s Investment Association. He was a board member of the CFA Society of the United Kingdom from 2011 to 2017. Utermann holds a BS in economics from the London School of Economics and an MA in economics from Katholieke Universiteit Leuven.
John H. Walsh
John H. Walsh is a partner at Eversheds Sutherland. He joined Sutherland in October 2011, bringing deep insider experience and perspective after 23 years with the SEC. Walsh now represents broker-dealers, hedge funds, investment advisers, and other securities firms in compliance and regulatory issues involving the agency. He counsels clients on the full spectrum of securities issues, from development and compliance to cooperation in examinations and defense in enforcement proceedings. At the SEC, Walsh played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of US-registered securities entities. He designed and implemented the SEC’s securities compliance examination practices, first as a senior adviser for compliance policy and then as associate director, Office of the Chief Counsel. In 2009, he served as OCIE’s acting director and led a massive retraining of examination staff on antifraud techniques. Before his tenure at OCIE, Walsh was special counsel to former SEC chairman Arthur Levitt from 1993 to 1995. From 1990 to 1993, he worked in the Division of Enforcement, serving first as senior counsel and then as chief of the branch of regional office assistance. Walsh began his career with the SEC in 1988 as an attorney in the Office of General Counsel.
Dan Waters is managing director of ICI Global. He previously served as asset management sector leader at the UK Financial Services Authority (FSA), leading the FSA’s regulatory and supervisory policy for the asset management industry. Waters also represented the United Kingdom in the International Organization of Securities Commission (IOSCO) Standing Committee on Investment Management. In addition, he represented the United Kingdom in the Investment Management Standing Committee of CESR (now ESMA), leading significant work in the revisions of the UCITS Directive (UCITS IV). Waters began work in the United Kingdom in 1993 as director of enforcement at the Investment Management Regulatory Organisation. Previously, he headed international enforcement at the US Commodity Futures Trading Commission. He graduated with highest honors from Boston College and with honors from Harvard Law School.